Trading

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  1. EU threat of soft-dollar ban still alive, raising questions for managers

    trueThe possibility of European regulations banning the use of soft dollars for third-party research is alive and well, despite talk in the U.K. and Europe that regulators would settle for something that falls short of a ban.

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  1. SEC to require backup operational plans for large-volume trading venues

    trueThe SEC on Wednesday approved requiring large-volume equity exchanges, alternative trading systems and dark pools to submit to the agency backup operational plans in case those venues' technological systems break down.

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  2. 18 banks sign ISDA rules to delay swaps termination rights

    trueNew rules that will delay swaps termination rights and collateral demands were signed by 18 major banks, the International Swaps and Derivatives Association announced Wednesday.

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  3. Critics strike back at tick-size pilot program

    trueThe inclusion of a trade-at provision in the SEC's proposed small-cap tick-size pilot program is proving controversial, with debate centering on whether it unfairly targets dark pools and makes the overall pilot too complex.

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  4. High-frequency trading: Considerations and risks for pension funds

    truePotential negative effects of the subset of automated algorithm-based trading known as high-frequency trading have recently generated significant attention, including congressional hearings, regulatory investigations, lawsuits and widespread media coverage. A fiduciary to a pension fund should ...

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  5. CFTC collects $3.27 billion in sanctions in fiscal 2014

    trueThe Commodities Futures Trading Commission collected a total of $3.27 billion in monetary sanctions from enforcement actions in the 12 months ended Sept. 30, the CFTC’s fiscal year.

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  6. SEC releases tick size pilot program plan for comment

    trueThe SEC late Monday released for public comment its plan to do a one-year pilot program to widen minimum tick sizes for small-cap stocks.

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  7. Justice Department targets J.P. Morgan Chase forex business in criminal probe

    trueJ.P. Morgan Chase & Co.'s foreign exchange trading business is the target of a criminal probe by the U.S. Department of Justice, said a company filing with the SEC Monday.

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  8. Pact raises caution flag on swaps

    trueAsset owners that use swaps could ultimately face losses and added risk as a result of an agreement among 18 major global banks.

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  9. ETP traders not responding to exchange overtures

    trueAll too often, exchange-traded products are described as mutual funds that trade like stocks. A closer look reveals that not to be the case. To the surprise of many, ETP traders are comfortable in the dark.

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  10. Florida SBA nears decisions on brokerage, collateral management searches

    trueFlorida State Board of Administration, Tallahassee, is considering five firms in its search for prime brokerage services: Citigroup, Deutsche Bank, New Edge, Bank of America Merrill Lynch and Bank of New York Mellon unit Pershing LLC.

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  11. Wells Fargo pulls plug on dark pool

    trueWells Fargo closed its Liquidity Crosser dark-pool trading venue on Oct. 17.

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  12. SEC settles with Athena Capital on first high-frequency trading manipulation case

    trueAthena Capital Research agreed to pay $1 million to settle charges by the SEC that the high-frequency trading firm made aggressive, rapid-fire trades in the final two seconds of almost every trading day to manipulate the closing price of thousands of Nasdaq-listed stocks.

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  13. Market share increasing for largest FX dealers — report

    trueThe five largest foreign-exchange dealers by market share handled more than half of all FX trades in 2013, and more volume will head to those dealers in the future, said a Greenwich Associates report issued Thursday.

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